transcript   Transcript

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Recorded on: Feb. 8, 2018
Running Time: 01:03:23

Full Transcript:

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Taken from the Web Program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants held February 2018 in New York

Broker-Dealer Retail Wealth Management: The Regulatory Framework [01:03:23]

  • The various advisory services engaged in by broker-dealers
  • FINRA’s oversight of broker-dealer advisory activity 
  • The Advisers Act—implications for a broker-dealer offering advisory services
  • Regulatory friction points
  • Opportunities for harmonization

Clifford E. Kirsch, Cece Baute Mavico, John C. Munch

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • The Broker-Dealer and Adviser Uniform Standard of Care: A Chronology (February 7, 2018)
    Clifford E. Kirsch
  • Supervision of Representative Outside Activities (February 2018)
    Clifford E. Kirsch
  • FINRA Regulatory Framework Applicable to Dual Registrants
    Cece Baute Mavico

Presentation Material
  • Broker-Dealer Retail Wealth Management/The Regulatory Framework-Operating as a Dual-Registrant
    Clifford E. Kirsch, Cece Baute Mavico, John C. Munch
    Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
    Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
    John C. Munch ~ General Counsel, SEI Investments Distribution Co.
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